Charlene Kott
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Charlene Kott, CFP®, who also goes by Charlene Caloia, Charles Kott, was a registered financial professional .
Charlene is a previously registered financial professional and started their career in finance in 1985. Charlene had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1992
Experience
January 2, 2009 - January 12, 2024
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 18, 1999 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 12, 1998 - January 12, 2024
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 23, 1990 - June 12, 1998
OPPENHEIMER & CO. INC.
June 9, 1989 - March 23, 1990
B.C. CHRISTOPHER SECURITIES CO.
November 20, 1985 - June 20, 1989
MARION BASS SECURITIES CORPORATION
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 3/27/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Financial AdvisorCRD#: 149018TRUST BUT VERIFY
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